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COBS 11.2 Best execution for AIFMs and residual CIS operators
As Published: 2007
COBS 11.2 Best execution for AIFMs and residual CIS operators
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SUP 5.4 Appointment and reporting process
As Published: 2016
SUP 5.4 Appointment and reporting process
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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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MAR 5A.5 Systems and controls for algorithmic trading
As Published: 2017
MAR 5A.5 Systems and controls for algorithmic trading
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FEES App 1 Annex 4 Glossary of definitions
As Published: 2012
FEES App 1 Annex 4 Glossary of definitions
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SUP 11.8 Changes in the circumstances of existing controllers
As Published: 2004
SUP 11.8 Changes in the circumstances of existing controllers
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BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups
As Published: 2006
BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups
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REC 3.20 Disciplinary action relating to members
As Published: 2013
REC 3.20 Disciplinary action relating to members
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SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
As Published: 2017
SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation
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EG App 2.1 Purpose, status and application of the guidelines
As Published: 2015
EG App 2.1 Purpose, status and application of the guidelines
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